The U.S. House Financial Services Subcommittee on Capital Markets, Securities and Investment considered testimony on two bills affecting the SEC's approach to enforcing federal securities laws.

Congressmen Steve Pearce (R-NM) and Blaine Luetkemar (R-MO) introduced legislation that would increase reporting thresholds for financial institutions subject to the Bank Secrecy Act, and provide a temporary safe harbor for violations of the Customer Due Diligence rule.

Wouldn't it be great if, when you read a rule, the documents related to the rule were right there on the same page? News, enforcement actions, no-action letters and guidance – you name it and we've got it. Click on Tip # 3 to find out more.

Cabinet calendars allow you to stay on top of important rule changes issued by numerous regulators, including the SEC, CFTC, self-regulatory organizations and banking agencies. Click on Tip #2 to find out more.

The U.S. District Court for the Southern District of New York denied a Motion to Dismiss securities fraud claims alleging that executives of an energy company intentionally misrepresented expenditures on mandatory disclosure documents.